Accounts Payable Audit Department
One of the two sections under the Accounts Payable Department is the Audit Section. The Accounts Payable Audit Department is responsible for auditing vouchers and answering questions regarding voucher preparation and the permissibility of the expense, providing advice and recommendations on the discretionary use of funds by the various accounting locations, identifying duplicate payments vouchered by offices, monitoring payments related to contracts, training new Office Managers and Chief Clerks about Senate financial practices, training Office Managers in the use of the Senate’s Financial Management Information System, and assisting in the production of the Report of the Secretary of the Senate. The Section also monitors the Fund Advance Tracking System (FATS) to ensure that advances are charged correctly, vouchers repaying such advances are entered, and balances adjusted for reuse of the advance funds. An “aging” process is also performed to ensure that advances are repaid in the time specified by the advance travel regulations. The Accounts Payable Audit Department, currently a group of eleven, has the responsibility for the daily processing of expense claims submitted by the 160 accounting locations of the Senate. During the first months of the year, the Accounts Payable Audit Department had some turnover and some new auditors were hired. The new audit staff has been fully trained and during Fiscal Year 2002, the Department has processed approximately 129,000 expense vouchers. The voucher processing ranges in scope from providing interpretation of Senate rules, regulations and statute, applying the same to expense claims, monitoring of contracts and direct involvement with the Senate’s central vendor file. After relocating back to the Senate Hart Building and once again being fully staffed, the Department was able to audit vouchers within two days of receipt. On average, and as long as the voucher did not have any issues or questions, vouchers were received, audited, sanctioned by Rules and paid within the required directive of 10 business days.
During December 2002, the Chairman of the Committee on Rules and Administration delegated the sanctioning authority of vouchers $35.00 or less to the Financial Clerk of the Senate. These vouchers are sanctioned by the Certifying Accounts Payable Specialists and are received, audited, and paid within 5 business days of receipt.
The Accounts Payable Audit Department provided training sessions in the use of new systems, the process for generation of expense claims, the permissibility of an expense, and participated with seminars sponsored by Secretary of the Senate, Sergeant at Arms, and the Library of Congress. The Section was trained 12 new Office Managers and Chief Clerks and conducted 4 informational sessions for Senate staff through seminars sponsored by the Congressional Research Service (CRS).
The Accounts Payable Department also assisted the IT Department in the testing and implementation of the new travel advance reporting. The new travel advance reporting became effective in September 2002 and with this new process, travel advances are accounted for as obligations. The Accounts Payable Audit Department has been fully trained in the new travel advance system and in the use of the four new WEB inquiries. Disbursing staff participated in the SAVI (Senate Automated Vendor Information) system training to assist Senate staff with any questions related to their reimbursements paid either by ACH (Automated Clearing House) or by check.
Accounts Payable Disbursements Department
The second department under the Accounts Payable Department is the Disbursements Department. The Accounts Payable Disbursements Department consists of four individuals whose primary responsibility is the receipt of more than 129,000 individual expense vouchers and the writing and delivery of the resulting 53,000 checks in payment thereof.
During the month of April, the Disbursing Office started making payments to Senate staff via ACH (Automated Clearing House). From April through December, the Department issued approximately 9,500 wire transfers for expense reimbursements. The Department also took over and currently maintains the Senate’s central vendor file that includes the addition of approximately 2,000 to 3,000 new vendors per year to an existing vendor file of more than 30,000.
The Disbursement Department is responsible for researching returned checks as vendors request additional information relating to payment allocation. The department also prepares the forms required by the Department of Treasury for stop payments. These stop payments result from employees not receiving salary or expense reimbursements, and vendors claiming non-receipt of expense checks.
This year, the group processed approximately 330 stop pays. During the summer, a stop pay tracking table was created in Excel to better track their status. The process of reissuing checks and/or subsequent collection of erroneously issued checks also falls within the scope of this department. On a semiannual basis, the staff here is also responsible for filing, rotating and archiving all expense vouchers processed and paid by the Disbursing Office.
Monthly, the Accounts Payable Disbursement Department assists the Accounting Department in the preparation and distribution of the monthly ledger statements for delivery to the 160 accounting locations throughout the Senate. This includes the maintenance of a central file of office contacts and the maintenance of a list of special instructions for handling the distribution of the statements. The ledger statements are produced, sorted, and ultimately delivered or picked up according to the list of special instructions.
The Disbursements Department has been tasked to prepare the quarterly State tax returns. The amounts are provided in spreadsheet form and payment coupons are prepared for the 43 State jurisdictions. The payment coupons are obtained from each jurisdiction either in hardcopy format or on-line via the Internet. Vouchers are prepared from the payment coupons and checks are generated from the vouchers. Once the checks are written, letters of transmittal are prepared and mailed to the appropriate State jurisdictions and the District of Columbia.
The Accounts Payable Disbursements Department also assisted the IT Department in the testing and implementation of the new travel advance reporting which became effective in September 2002. This Department also has been fully trained in the new travel advance system and in the use of the four new WEB inquiries. They also participated in the SAVI (Senate Automated Vendor Information) system training to assist Senate staff with any questions related to their reimbursements paid either by ACH (Automated Clearing House) or by check.
Currently, the Accounts Payable Disbursements Supervisor is in the process of training one newly hired staff person and implementing the Department of Treasury - Financial Management Service (FMS) on-line stop pay process called PACER. This PACER system provides on-line access to digital images of negotiated checks for viewing and printing. Budget Department
The third component of the Disbursing Office financial management group is the Budget Department. The primary responsibility of the Budget Department is to compile the annual operating budget of the United States Senate for presentation to the Committee on Appropriations. The Budget Department is responsible for the preparation, issuance and distribution of the budget justification worksheets (BJW). This year the budget justification worksheets were mailed to the Senate accounting locations during January and responses were received in the first week of February. This department is also responsible for the formulation, presentation and execution of the budget for the Senate and provides a wide range of analytical, technical and advisory functions related to the budget process. The Budget Department acts as budget officer for the Office of the Secretary, assisting in the preparation of testimony for the hearings before the Committee on Appropriations and the Committee on Rules and Administration. The group is also responsible for reporting to the Office of Management and Budget, via the MAX database, the budget baseline estimates that were developed for FY 2004.
Disbursing Office Information Technology Financial Management Information System
The Disbursing Office Information Technology (IT) Department, currently operating with a staff of four, provides both functional and technical assistance for all Senate Financial Management activities. Activities revolve around support of the Senate’s Financial Management Information System (FMIS) which is used by approximately 140 Senate accounting locations (i.e., 100 Senator’s offices, 20 Committees, 20 Leadership & Support offices, and the Disbursing Office). Responsibilities include: • Supporting current systems; • Testing infrastructure changes; • Managing and testing new system development; • Planning; • Administering the Disbursing Office’s Local Area Network (LAN); and • Coordinating the Disbursing Office’s Disaster Recovery activities and Continuation of Operations Plan (COOP).
The activities associated with each of these responsibilities are described in more detail in the sections that follow. Work during 2002, was supported by the Sergeant at Arms (SAA) Technology Services staff, the Secretary’s Information Technology staff, and contracts with Bearing Point (formerly known as KPMG).
The SAA Technology Services staff is responsible for providing the technical infrastructure, including hardware (mainframe and servers), operating system software (mainframe and servers), database software, and telecommunications; technical assistance for these components, including migration management, and database administration; and regular batch processing. Bearing Point is responsible, under the contract with the SAA, for operational support, and under contract with the Secretary, for application development. The DO is the “business owner” of FMIS and is responsible for making the functional decisions about FMIS. The three organizations work cooperatively.
Highlights of the year include: • Implementation of three Web FMIS releases, one of these made Travel and Petty Cash advances obligations of the office which required substantial revisions to the accounting for advances (March, July and September 2002); • Articulation of a five year Disbursing Office Strategic Initiatives plan, which formed the base for Secretary of the Senate’s request for $5 million in multi-year funds for further work on the FMIS project (April 2002); • Pilot and Senate-wide implementation of the Senate Automated Vendor Inquiry system (SAVI), a Web site on which all Senate staff can lookup the status of reimbursements (Pilot - Spring 2002; Senate-wide availability - July 2002); • Pilot of Web-ESR, a sub-system of SAVI that enables Senate staff to create a travel expense summary form on-line and submit it electronically to their office manager (Fall 2002); • Implementation of a revised Office Information Authorization form and scanning of this form. The new form combines three old forms, which significantly simplifies the paperwork required by the DO. Scanning the forms make them immediately available to all DO staff which has improved our efficiency (October 2002); • Implementation of a new document approval process for vouchers of $35 or less. Under this, vouchers of $35 or less do not go to the Committee on Rules and Administration for sanctioning, but instead are routed to certifying Accounts Payable specialist for review and posting to FAMIS. This has reduced the amount of time required to pay a voucher (December 2002); and • Implementation of Outlook as the DO’s e-mail system (December 2002).
In the past four years many subsystems providing additional functionality have been added. These subsystems are outlined in the table on the following page. Senate Financial Management Information System
Supporting Current Systems
The IT section supports FMIS users in all 140 accounting locations, and the Disbursing Office Accounts Payable, Accounting, Disbursements and Front Office Sections. The activities associated with this responsibility include: • User support - provide functional and technical support to all Senate FMIS users; staffs the FMIS “help desk”; answer hundreds of phone calls a year; and meet with Office Managers and Chief Clerks as requested; • Technical problem resolution - ensure that technical problems are resolved; • Monitor system performance - check system availability and statistics to identify system problems and coordinate performance tuning activities for parallel load and database access optimization; • Training - provide functional training to all Senate FMIS users. During 2002, the IT Department conducted 37 classes, seminars, and demonstrations on Web FMIS. The class schedule is issued quarterly and the classes offered were:
Introduction to Web FMIS - conducted eight times. This hands-on class covers the basics of preparing, printing, and submitting vouchers and travel vouchers, and managing your inbox. Also covered are adding items to an office’s lookup tables (e.g., vendor and expense category), using search to find records, and what information goes in the Unique Invoice Number and Account Number fields.
Web FMIS Budget & Reports Seminar - conducted eight times. This demo-style seminar covers how to enter and change an office’s budget, and how different budgets show on an office’s Summary of Financial Status Report. Several budgets, from simple to complex are discussed, based on the interests of the attendees. Also discussed are the on-line reporting functions including refreshing report data and exporting report data into another application (e.g., Excel). In addition, we look in detail at the Analysis by Vendor, Analysis by Expense Category, and Analysis by Office Control Number Reports, at the Changed Document Report, and other reports based on the interests of the attendees.
Web FMIS Reconciliation Class - conducted five times. This hands-on class covers how to reconcile an office’s Web FMIS balance with the DO's balance on a monthly basis.
Web FMIS Special Topics - conducted three times. Occasionally a “special topics” seminar covering different subjects is held. Twice, in May and November, the seminar topic was how to use commitments and obligations. This seminar is offered at the points in the year when offices are most likely trying to estimate expenses through the end of the fiscal year.
User Demos - In advance of each Web FMIS release, we demonstrate at a Joint Office Manager Chief Clerks meeting, the new functionality included in the release. In addition, we repeat this demo for those unable to attend the meeting and conduct a “hands-on” class covering the same material for those who prefer to “do it” rather than “see it”. For Web FMIS release 5, we presented this material four times; for release 6 we presented this material three times; and for release 7 only a demo was offered. The release 7 demo also included a demo of SAVI functionality.
DO Staff Training - During 2002 the DO staff received the same training as Office Managers and Chief Clerks. For the DO staff, the DO IT section conducted a Web FMIS release 5 class twice; the Budgets & Reports seminar twice; and the Reconciliation class once.
• Security - 30 ADPICS, FAMIS and 80 Web FMIS users and other users as requested by Senators and Chairmen, added, deleted, and changed user rights for, as well as, maintaining the document approval paths and creating new approved paths for vouchers less than $35. One of the most important functions the DO IT staff perform is maintaining user rights for all ADPICS, FAMIS, and Web FMIS users. • System Administration - design, test and make entries to tables that are intrinsic to the system (i.e., preparation for change in fiscal year, change in Senate organization tables or new office, new accounting transaction codes, new approval path for vouchers of $35 or less, 108th Congress); and • Support of Accounting Activities - provide assistance in the cyclic accounting system activities. During 2002, the following activities were performed - Upload of files into FAMIS, Year End rollover, SAVI Information Letter, and Ad hoc queries.
infrastructure changes
The SAA provides the infrastructure on which FMIS operates, including the mainframe, the database, security hardware and software, the telecommunications network, and a hardware and software installation crew and help-desk provider. During 2002, the following components of this infrastructure were changed: • Mainframe hardware and software - upgrade of the mainframe security software (ACF/2), database (DB/2v7), and operating system (OS390/2.10 {including CICS and CA/7 upgrades}, OS Upgrade for mainframe upgrade, and Mainframe Upgrade) required that the Disbursing Office extensively test all FMIS subsystems both in a testing environment and in the production environment which in turn enabled installation of a new mainframe in December 2002; • Printing online via “Reveal” - installation of the “Reveal” software enables the DO staff to examine mainframe reports online and eliminated daily printing of large reports; and • Senate “Helpdesk” support vendor - the SAA contracted with a new company, Signal/Veridian, to provide hardware and software installation services for offices and to provide a “helpdesk”. Met with representatives of the company to demonstrate the Web FMIS application and answer questions about system implementation.
Managing and testing new system development
During 2002, we supervised development, performed extensive integration system testing and implemented changes to the following FMIS subsystems: • Web FMIS; • Senate Vendor Information (SAVI); • Web ESR; and • Checkwriter.
Web FMIS - Three major releases of Web FMIS were done in 2002, and one mini release was completed in 2002 but not implemented until the beginning of January 2003, detailed requirements for a fourth were completed, and general requirements for a fifth were begun. These are: • Web FMIS r5 - Implemented in March 2002. This release included a number of ease-of-use features in the document entry function (e.g., automatic population of end date from start date) and in the inbox functions, the ability to refresh report data on user demand (i.e., instead of having to wait for the nightly batch report cycle to run), the ability to unsubmit a document, and the ability to void a document; • Web FMIS r6 - Implemented in July 2002. This release included nine new or revised reports, the most important of which are two cross-FY summary reports that enable easy comparison of data from up to four funding periods; a FY-independent research function; and improvements in the status and history information shown on each document; • Web FMIS r7a - Implemented in September 2002. This release included six new or revised reports, the most important of which is the Summary of Financial Status by Month; submitting travel advance requests and treating advances as obligations of the office, which required substantial changes to the accounting underlying the travel advance and voucher from advance transactions; introduction of a credit document to accompany repayments; addition of equipment certification language which eliminates stamping the invoice that the equipment is Senate-owned or leased; and addition of disbursement type information (i.e., check or direct deposit) in the payment information field on each document and in the vendor file; • Web FMIS r7a for Windows XP - Implemented in January 2003. This was a technical release that made changes necessary for Web FMIS to run on Windows XP PCs, which is the operating system that new Senators’ offices received. No new functionality was involved in this release, but Bearing Point made technical changes to the software which we tested; • Web FMIS r7b - Implemented April 2003. This release enables the Rules Committee to review documents and perform sanctioning on-line. During 2002, we met with Rules Committee Audit staff and Bearing Point to complete requirements and detail design discussions for this new functionality. Bearing Point completed the programming for this functionality as well. Implementation of this release was originally scheduled for December 2002, but was postponed to April 2003, due to installation of a new mainframe computer in November 2002, during the time that this release was scheduled for testing. Due to the timing of this release, it will also include technical changes to the underlying mainframe software, WebSphere, from “compliance mode” to “compatibility mode,” which is required before the software can be upgraded to WebSphere release 4, currently scheduled for June 2003, and will apply the changes required for the Windows XP PC operating system to all supported PC operating systems; • Web FMIS r8 - Release not currently scheduled. During 2002, we began requirements discussions on changing the underlying security paradigm of Web FMIS. This would allow us to more exactly control the user rights to different kinds of Web FMIS users. Implementation was originally scheduled for April 2003, but has been postponed due to the revised release 7b implementation date; • Senate Automated Vendor Inquiry (SAVI) - One of the Senate’s goals in implementing FMIS was reimbursing employee expenses and paying vendors via direct deposit. We have been prepared to pay via direct deposit for some time, however the benefit of doing so was limited if a notice acknowledging payment still had to be sent to the employee. In other words, if we have to send a check stub-like notice via mail, why not just send the check with check stub via mail? With the Spring 2002 pilot and then the Senate-wide implementation of SAVI in July 2002, the Senate resolved this issue and took a major step towards meeting the direct deposit payment goal. SAVI, an intra-net enabled system, allows Senate employees to inquire on the status of payments, and provides the deposit information that would be on a check stub.
Since this system is inside the Senate’s firewall, it is available only to Senate staff. As of July 2, 2002, all Senate employees who receive their paycheck via direct deposit were given an option to receive any expense reimbursements via direct deposit. Implementing direct deposit reimbursements required coordination with the Federal Reserve and the Senate Credit Union. All Senate staff were notified of this change in a Senate-wide mailing, and new staff are notified in a new employee mailing. Provisions were made for Senate staff who preferred to continue to receive check reimbursements and for staff who wanted reimbursements to be deposited to an account different from the account for their paychecks. Thus, staff “opt-out” if they don’t want to receive reimbursements via direct deposit. On the other hand, Senators have to “opt-in” if they want to receive reimbursements via direct deposit.
Two releases of SAVI were implemented in 2002. The first was used by the pilot and for the July Senate-wide implementation. Based on comments from the pilot, we also defined requirements for a second release of SAVI that substantially improved the display of payment information and provided more useful search criteria. This was released in September 2002; • Web ESR - This system, a subsystem of SAVI, enables Senate staff to complete an on-line Travel Expense Summary Report (ESR) and submit it so that their office manager can “import” the data and create a voucher, without retyping the ESR data. As of the end of December 2002, it was in use by employees in 10 pilot offices and was to be implemented in new Senators offices and in offices with new office managers. Currently, this application is Intra-net based, but its first implementation, to a pilot group in the Spring of 2002, was as a client-server application. The original application was well received, but the pilot users requested enhancements that were difficult to provide in a client-server application. We decided to re-write the application and tie it to SAVI so that Senate staff could use one system to create ESRs and to check the status of reimbursements. In the Fall of 2002, the pilot offices gave us additional feedback on Web ESR, and during 2002 we began defining requirements for the next release of Web ESR. Implemented with Web FMIS r7b in April 2003; and • Checkwriter - During 2002, we defined requirements for, tested and implemented several new versions of the checkwriter software, which enables printing US Treasury Checks, and compiling the direct deposit file transmitted to the Federal Reserve. We also defined requirements for additional checkwriter releases that will be implemented in 2003. In addition, we began investigating alternatives for the checkwriter printer to find one that provides more flexibility in the event of a disaster.
Planning
There are two main planning activities: • Schedule coordination - planning and coordinating a rolling 12 month schedule; and • Strategic planning - setting the priorities for further system enhancements.
Schedule Coordination - While we were evacuated from the Hart Building due to anthrax contamination, the DO staff worked at Postal Square in the same space as the SAA and Bearing Point staff. This enabled ad-hoc meetings and easy communication. When the DO staff returned to the Hart Building in January 2002, we wanted to continue the effectiveness of our co-location. Meetings with the DO, SAA and Bearing Point staff have evolved into three types of meetings: • Project specific meetings - a useful set of project specific working meetings, each of which has a weekly set meeting time and meets for the duration of the project (e.g., Document Purge meetings and Web FMIS requirements meetings); • Technical meeting - a weekly meeting among the DO staff (IT and functional), SAA Technical Services staff, and Bearing Point to discuss co-ordination among the active projects, including scheduling activities and resolving issues ; and • “Project Office” - a monthly meeting among senior Senate staff (e.g.,the Financial Clerk, Rules Committee staff), the Bearing Point engagement partner, SAA technical and functional staff, DO IT and functional staff, and Bearing Point staff to discuss progress on each project. Strategic Planning - The FMIS strategic plan has a longer time horizon than the rolling 12-month time frame of the technical meeting schedule. It is designed to set the direction and priorities for further enhancements. In 2002, a five year strategic plan was written by the IT and Accounting staff for Disbursing Office Strategic Initiatives. This detailed description of five strategic initiatives formed the base for Secretary of the Senate Jeri Thomson’s request for $5 million in multi-year funds for further work on the FMIS project. The five strategic initiatives are: • Paperless Vouchers - Imaging of Supporting Documentation and Electronic Signatures - Beginning with a feasibility study and a pilot, implement new technology, including imaging and electronic signatures, that will reduce the Senate’s dependence on paper vouchers. This will enable continuation of voucher processing operations from any location, should an emergency again occur; • Web FMIS - Requests from Accounting Locations - Respond to requests from the Senate’s Accounting Locations for additional functionality in Web FMIS; • Payroll System - Requests from Accounting Locations - Respond to requests from the Senate’s Accounting Locations for on-line real time access to payroll data; • Accounting Sub-system Integration - Integrate Senate-specific accounting systems, improve internal controls, and eliminate errors caused by re-keying of data; and • CFO Financial Statement Development - Provide the Senate with the capacity to produce auditable financial statements that will obtain an unqualified opinion.
Administering the Disbursing Office’s Local Area Network (LAN)
The DO administers its own Local Area Network (LAN), which is separate from the LAN for the rest of the Secretary’s Office. We facilitated two major upgrades to our LAN during 2002, installation of new PCs and migration of our e-mail to Outlook, completed several projects for the Payroll and Employee Benefits sections, and installed new software for the DO staff working on the Report of the Secretary of the Senate. • New PCs and Laptops - In August 2002, the 50 DO staff received new PCs with the Windows 2000 professional operating system. In order for all PCs to be identical, it is our practice to create a DO-specific PC template, which is used when the new PCs are set up by the vendor. This enables testing of all applications that the DO uses, including mainframe applications that are used solely by the DO. Thus conflicts between the new operating system and the applications we use can be identified and resolved prior to installation of 50 PCs. The creation and testing of the DO Windows 2000 professional workstations was completed before the August 2002 installation date. Following this, we co-ordinated the purchase, installation and testing for replacement of the DO’s ten laptops with laptops using the Windows 2000 professional operating system;
• Outlook - In December 2002, we migrated our e-mail system from cc:Mail to Outlook. This upgrade required installation of a new server, training for all the DO staff, and extensive work to recreate office mailing lists; • Projects for Payroll and Employee Benefits Sections - We supported activities of the Payroll and Employee Benefits sections with four specific projects: • Coordinated the development of a Payroll Imaging system to electronically capture payroll documents turned in at the DO front counter, including ordering all required system components. This system is still being implemented; • Installed the required software and worked with the SAA to establish proper communication protocols to provide the Employee Benefits section the ability to transmit employee health plan information electronically to the National Finance Center in order to participate in a new program called Centralized Enrollment Clearinghouse System (CLER); • Posted Overtime Schedules for different work weeks along with a generic time sheet on the DO website. This eliminated maintaining hard copies of the various work weeks at our front counter; • In October 2002, we implemented a revised permissions form, the Office Information Authorization form, which combined three old forms. This significantly simplified the paperwork that offices are required to submit in order to add, delete or change user rights for Web FMIS users. Additionally, these forms are now scanned and therefore available to all DO staff the same day that the document is received. This has eliminated the need for a database of users and improved efficiency; and • Migrated the DO Fedline system from a DOT matrix printer to a laser printer. • Software for the Report of the Secretary of the Senate - Several DO staff review and edit data for the Report of the Secretary of the Senate. This requires special software and dictionaries. We performed the following on this software: • Coordinated the update and installation of the “Toolbox” software (provided by Bearing Point) on the new PCs; • Reviewed existing spell check dictionaries, and worked with Bearing Point to make the required updates; and • Established procedures to ensure that dictionaries are maintained after each reporting cycle.
Coordinating the Disbursing Office’s Disaster Recovery Activities The DO’s disaster recovery activities include two related activities: • Disaster Recovery Testing - participating in the computer system disaster recovery tests conducted by the SAA; and • Coordinating the Continuation of Operations Plan (COOP) - the COOP is the broader focused activity and addresses all aspects of DO operations, not just computer operations. Disaster Recovery Testing- Since 1995, the SAA has contracted with an offsite contractor for backup services in case of a disaster affecting the Senate’s main data center. The Senate’s Payroll system and FMIS are included in this recovery process. Since the contract’s inception, the Senate has tested its ability to restore systems and perform normal activities at least once, and often twice a year. Disbursing Office staff and SAA Procurement staff are active participants in the planning and execution of these tests. For 2002 two tests were planned: one in late February and one in the late fall. Only one test, the February test, was actually held. In this test, the mainframe subsystems of FMIS (i.e., ADPICS and FAMIS) were tested successfully, but two critical subsystems, checkwriter and Web FMIS, were not tested successfully. The checkwriter testing failed for the second disaster recovery test in a row, and Web FMIS was not tested at all. Both were scheduled to be included in the fall 2002 test, but that test was cancelled because the contractor’s computer was not running the same version of the mainframe operating system, OS390 v2.10, which the Senate implemented in August 2002. The tests were subsequently rescheduled for February of 2003 and subsequently conducted with favorable results.
Disaster Recovery Background - Every night, data and software from the Senate’s mainframe computer systems are backed up to a magnetic cartridge and taken to First Federal Corporation, which provides a secure off-site facility. In the event of a disaster in the SAA computing facilities at Postal Square, SAA technical staff would immediately arrange to have the data, software, and appropriate operating instructions forwarded from the off-site facility to one of the contractor’s data centers. Senate staff would travel to this facility to oversee the restoration of all software and data on the contractor’s computer. By contract, restoration would be complete within 24 hours and systems would then be available to users. Sungard’s facilities can currently support up to 48 concurrent Senate users.
Disaster Recovery of the Payroll System - Several key components are necessary for access to the payroll system after the restoration of data at the contractor’s facility is complete. At least one terminal identification (term- ID) must be coded in the payroll system to allow CICS access because the payroll application has an internal security module that ties a user to a specific term-ID that controls user access. Another key component is FTP software that allows the movement of files from point to point.
Most payroll payments are made via Direct Deposit to the Federal Reserve Bank using the Automated Clearing House (ACH). After the payroll system is closed-out for the payroll period, the SAA programmers provide an ACH data set which is transmitted to the Federal Reserve Bank in Atlanta, Georgia, via a specially configured PC containing an encryption board and a specialized modem. During our evacuation from the Hart Building, the DO did not have access to the Fedline PC. The DO entered into an open-ended agreement with the Senate Federal Credit Union that allows the DO to transmit from their facility in Alexandria, VA. The Federal Reserve Bank of Atlanta must be notified prior to any transmission changes, but this agreement gives us the flexibility to transmit from an alternate access point in the event we encounter transmission problems in the future.
Disaster Recovery for FMIS - The DO has participated in disaster recovery testing of mainframe FMIS facilities since the system was implemented in October 1998. For the February 2002 test, DO and SAA Procurement staff tested the various modules of the mainframe application to ensure they were functioning correctly at the back-up site. Using workstations connected to the Senate’s fiber network as well as laptop computers dialing into the offsite location, users have tested various types of document preparation and posting to FAMIS. In addition, batch report testing, and system inquiries into both the procurement and financial modules were tested. Finally, various batch processing tasks were tested to ensure that they perform as expected. In the February 2002 testing, these tests were completed satisfactorily.
Three components of FMIS, checkwriter, Web FMIS, and printing of ADPICS purchase orders and vouchers, have not been tested satisfactorily. Testing of the “checkwriter” process, which generates checks in payment to vendors, failed in the February 2002 test because communications between the check writing facilities in the Hart Building and the contractor’s data center could not be completed in the testing time frame allowed under the Senate’s contract. This was a repeat of the problem experienced in the spring 2001, despite a longer testing time frame for the February 2002 test.
No disaster recovery testing of Web FMIS was accomplished during 2002. Such testing required installation of additional hardware and software at the contractor’s facility. Testing of Web FMIS was scheduled for the fall 2002 recovery testing, but did not happen due to the cancellation of the fall 2002 disaster recovery test described above.
Printing of ADPICS purchase orders and vouchers is not possible with the current disaster recovery communications infrastructure of “dial-up” lines. Workaround facilities or a revised infrastructure have not been finalized for this functionality. As a result, entities that prepare ADPICS purchase orders and vouchers, primarily the Secretary of the Senate and the SAA, would not be able to print these documents in the event of a disaster. The proposed Alternate Computer Facility would have more advanced infrastructure and thus such documents would be able to be printed.
Coordinating COOP - During the summer of 2001, the DO staff wrote a Continuation of Operations Plan (COOP). This document addresses issues beyond the scope of disaster recovery. The plan was activated on October 21, 2001, when the DO staff were evacuated from the Hart Building due to anthrax contamination, and deactivated in January 21, 2002, when we returned. Prior to our reoccupation of our Hart office space, we tested all DO office systems to ensure that they were operational and facilitated a review of our office space by a disaster restoration specialist from an outside contractor. Additionally, we participated in the planning and execution of the June 22, 2002 COOP exercise.
ADMINISTRATIVE OFFICES 1. CONSERVATION AND PRESERVATION
The Office of Conservation and Preservation develops and coordinates programs directly related to the conservation and preservation of Senate records and materials for which the Secretary of the Senate has statutory authority. Initiatives include: deacidification of paper and prints, phased conservation for books and documents, collection surveys, exhibits, and matting and framing for the Senate Leadership.
As part of several Senate traditions, for more than 22 years, this office has bound a copy of Washington's Farewell Address for the annual Washington's Farewell Address ceremony. In 2002, a volume was bound and read by Senator Jon S. Corzine, and this year, Senator Saxby Chambliss read the Address and received a copy of the bound edition.
In addition, the office continued its work for the Leader’s Lecture Series with the fabrication of two speech holder boxes and leather notebooks. The office also fabricated for the Office of Interparliamentary Services, seven marbled paper slipcases for the book, The United States Capitol: Photographs by Fred J. Maroon.
At the direction of the Secretary of the Senate, and the Senate Gift Shop, marbled paper liners were fabricated for twelve mahogany boxes to house a ceremonial gavel presented at the Commemorative Joint Meeting of the Congress of the United States in New York City. A Bible was gold embossed for the occasion on September 6, 2002.
The Office of Conservation and Preservation also completed the following: gold- embossed 148 mats for the Senators’ group picture of the 107th Congress, embossed 140 books for the Senate Leadership, and matted and framed 406 items for the Senate Leadership. As mandated in the 1990 Senate Library Collection Condition Survey, the office continued to conduct an annual treatment of books identified by the survey as needing conservation or repair. In 2002, conservation treatments were completed for 95 volumes of a 7,000 volume collection of House hearings. Specifically, treatment involved recasing each volume as required, using alkaline end sheets, replacing acidic tab sheets with alkaline paper, cleaning the cloth cases, and replacing black spine title labels of each volume as necessary. In 2003, the Office of Conservation and Preservation will continue preservation of the remaining 4,277 volumes.
In addition, this office sent 481 books from the Senate Library to the Library section of Government Printing Office for binding, and assisted the Senate Library with four exhibits located in the Senate Russell building basement corridor. For the Curator’s office, Conservation and Preservation assisted with the Brumidi exhibit located on the first floor of the Capitol.
On an ongoing basis, this office assists Senate offices with conservation and preservation of documents, books, and various other items.
2. CURATOR
The Office of Senate Curator, under the direction of the Secretary of the Senate, who is the Executive Secretary of the Senate Commission on Art, administers the museum programs of the Senate for the Capitol and Senate office buildings. The curator and staff suggest acquisitions, provide appropriate exhibits, engage in research, and write and edit publications. In addition, the office studies, identifies, arranges, protects, preserves, and records the historical collections of the Senate, including paintings, sculpture, and furnishings; and exercises supervisory responsibility for the chambers in the Capitol under the jurisdiction of the Senate Commission on Art. All records of research and documentation related to these areas of responsibility are available for use by Senators’ offices, the media, scholars, and the public. With the establishment of the United States Capitol Preservation Commission, the Senate Commission on Art has become the designated recipient of objects with Senate association received by the Preservation Commission, and is tasked to “provide to the Capitol Preservation Commission such staff support and assistance as the Preservation Commission may request.”
Collections: Commissions, Acquisitions, and Management
The Senate Commission on Art unveiled new portraits of Senators Blanche Kelso Bruce and James Eastland last year. Other commissions currently in progress include paintings of Senators Bob Dole and George Mitchell for the Senate Leadership Portrait Collection; Senators Arthur Vandenberg and Robert Wagner for the Senate Reception Room; and Margaret Chase Smith.
Thirty-one objects were accessioned into the Senate collection this year. These included three notable items associated with 19th century Assistant Doorkeeper Isaac Bassett: a snuff box; walking stick; and scrapbook of news clippings, letters, and various mementos related to Bassett’s Senate years. The majority of the newly accessioned objects were historic prints.
Twenty-six new foreign gifts were reported to the Select Committee on Ethics and deposited with the Curator’s Office. These have been catalogued and are maintained by the office in accordance with the Foreign Gifts and Decorations Act. Many of these gifts reflect the historic, unprecedented visit of senators to countries such as Uzbekistan and Afghanistan.
The Senate collection and Foreign Gifts collection were inventoried in 2002. A cyclical schedule to complete a wall-to-wall inventory of all collections every three years was established by the Registrar. Every year all objects on display in the Capitol and all Senate Office Buildings are inventoried in order to verify that no changes in location or condition have occurred. In addition, an inventory was completed of all fine and decorative arts, memorabilia, publications, and manuscripts located in a 4th floor storage room in the Capitol and the offsite warehouse. In 2003, all prints, drawings, and advertising images in storage will be inventoried.
The Sergeant at Arms also approved the Secretary’s request to obtain a lease through General Services Administration (GSA) for museum quality off-site storage, as the Senate Curator was asked to vacate its existing space. Fifty-one items, primarily historic furniture, which had been stored at the warehouse were temporarily relocated in October 2002, to an off-site until such time as a GSA lease is negotiated. The final result will be an environmentally controlled storage space suitable for the storage and preservation of historic objects.
The Associate Registrar and Curatorial Assistant initiated a project to professionally photograph the more than 1,000 historic prints in the Senate’s collection. For emergency purposes, a pair of 4" x 5" color transparencies will be created for each print, allowing for one complete set to be stored off-site. The in-office working copy will be used for image requests, future publications, and new web site postings. This year, the transparencies will be transferred to CD’s, along with adding the images and associated database information to the Senate web site, and compiling an updated checklist publication of the Senate’s entire historic print collection. 861 prints have been photographed to date. Conservation and Restoration
A total of 25 objects received conservation treatment in 2002. These included three historic clocks, one gilded window valance, fifteen Senate Chamber desks, and six Russell Senate Office Building chairs.
This year the major project of conserving all one hundred Senate Chamber desks passed the halfway point. Twice a year, during Senate recess periods, desks are removed from the Senate Chamber and sent out for restoration. Treatment is extensive, and follows a detailed protocol developed in 1997 to address the wear and degradation of these historic desks due to continued heavy use. Sixty-one desks have been restored to date, and the project is on schedule for completion in August 2005. The program also involves thorough documentation of the condition, construction details, wood type, and measurements. Additional initiatives will include: professional photography; posting desk information on the Senate web site; developing a maintenance program to continue to preserve the desks; and treating the inkwells and sand blotters located in each desk. As part of its preventive maintenance program, the Curator’s office continues to work with the Senate Sergeant at Arms Cabinet Shop to install rubber bumpers on the end of the Senate Chamber chairs to further eliminate damage to the desks.
Six historic chairs, originally purchased for the Russell Senate Office Building in 1909, were studied and restored. The chairs were examined by professional conservators in order to determine the original finish and upholstery methods, and to serve as prototypes. A detailed protocol treatment to restore all 1909 Russell chairs to their historic appearance was established. A comprehensive Collection and Historic Structures Care manual has been developed. The manual will provide basic, practical information needed to enable non-curatorial staff within the Capitol complex to plan and implement sound collections care and building maintenance programs. The primary purpose of the manual is to teach specialized handling practices, identify acceptable repair, maintenance, and care treatments, and establish necessary monitoring and maintenance schedules. In addition, the Associate Curator and Registrar conducted training sessions for the Capitol Police on the care and protection of art in the Capitol. The staff also continues to work with housekeeping personnel on maintenance issues related to the fine and decorative arts collection.
Historic Preservation
One of the office’s directives is to work with the Architect of the Capitol to ensure the preservation of the architectural and decorative elements within the Senate wing of the Capitol, with emphasis on those spaces of primary historic and architectural significance. After making substantial progress in 2001, on the development of the Senate Preservation Program by defining a policy and procedures, the office spent much of the year focusing on the functionality of the program and how it could effectively interact with the Office of the Architect of the Capitol and congressional offices. Based on such considerations, the office identified infrastructure systems and effective procedures that will allow the staff to conduct and collect research, document current projects, respond to and approve upcoming project scopes in a timely manner, and develop and direct preservation projects. The results of those efforts include: an historic structures report program; a detailed index to Bill Allen’s History of the U.S. Capitol; a draft historic context and period of significance statement for the Capitol; paint analysis guidelines; and office attendance at the Architect of the Capitol’s project update meetings.
In an effort to significantly advance the preservation program by putting policies and procedures into practice (in order to test and refine them), the office outlined two Senate-controlled preservation projects as test cases: the Senate Reception Room preservation project and the Historic American Building Survey (HABS) documentation project. The first phase of the Reception Room project, the development of an Historic Structures Report, is currently underway and will continue through 2003. Regarding the HABS project, the office has developed a plan and first phase proposal for review.
Along with the important work of developing and implementing a Senate Preservation Program, the Curator’s office, working in partnership with the Architect of the Capitol, continued to serve as project coordinator for the Democratic leadership suite rehabilitation project. Over the past year, the following tasks were completed: application of tinted varnish on the S-223 and S-224 enframements; painting the walls and enframements in S-222; painting the enframements in S-221; application of gold leaf in S-222, S-223, and S-224; restoration of the ceiling murals in S-222 and S-223; consolidation of the ceiling plaster in S-221; conservation of the crystal chandeliers in S-222, S-223, and S-224; restoration of three 1909 Russell Senate Office Building chairs for S-223; installation of gilded window cornice replicas in S-221 and S-223; and installation of new curtains in S-222 and new rugs in S-222 and S-224.
Serving as the Senate’s authority on preservation, the office has extended professional advice, guidance, and services to the Architect of the Capitol and various congressional offices on numerous upgrade, renovation, preservation, and repair projects in the Senate wing of the Capitol. These projects include testing and stabilization planning for the President’s Room ceiling plaster; preservation of the second floor corridor; mural conservation and restoration of the Brumidi Corridors; handicap access for the Old Supreme Court Chamber; and renovation of S-312. Historic Chambers
The Curator's staff maintains the Old Senate and Old Supreme Court Chambers, and coordinates periodic use of both rooms for special occasions. By order of the U.S. Capitol Police, the Old Senate Chamber has been closed to visitors since September 11, 2001. Twenty-nine requests were received from current Members of Congress for after-hours access to the chamber. Four special events were held in the room. Of significance was former Vice President Walter Mondale’s lecture delivered in the chamber as part of the Leader’s Lecture Series. In addition, the Chamber was used for an educational interview with former Majority Leader Bob Dole conducted by the National Constitution Center in Philadelphia regarding the history of debate in the Senate. Senate Historian Richard Baker also presented a lecture to the newly-elected Senators of the 108th Congress. The Chamber was also used for the re-enactment swearing-in ceremony for Senator Dean Barkley of Minnesota, and again on January 7, 2003, for the opening of the 108th Congress. In addition, B-roll footage of the room was taken by NBC to illustrate the historic significance of the 19th century Senate Disbursing Office ledgers recently found.
On April 1, 2002, the Old Supreme Court Chamber was opened to the public for the first time since September 11, 2001. Nineteen requests were received by current Members of Congress for admittance to the Old Supreme Court Chamber after-hours. New carpeting was installed in the public area of the Old Court, and two exhibits were de-installed to allow easier access to the room for visitors.
Loans To and From the Collection
A total of 63 historic objects and paintings are currently on loan to the Curator’s office on behalf of Senate leadership in the Capitol. The Curator’s staff returned eleven paintings to the South Dakota Art Museum at the expiration of their loan period, and requested nine new paintings from the museum for display in the Democratic leadership suite. One outgoing loan from the Senate collection was approved for the Octagon Museum; two objects from the collection and two replicas were loaned for display as part of the exhibition, Inside the Temple of Liberty.
The Curator’s office began work to assemble information on Senate objects under consideration for loan to the exhibition space in the main gallery of the Capitol Visitor Center. Approximately 50 objects have been identified at this time. In addition, the office facilitated a loan request to the Smithsonian Institution’s National Museum of American History on behalf of the Senate Commission on Art. The Curator’s office has identified two large, historic vases for display in the public area of the Capitol Visitor Center, and tentative approval was received from the Smithsonian pending final confirmation of conditions in the display location.
The Secretary’s china was distributed and returned three times in 2002. It was used for events such as a dinner for the retiring Republican Senators of the 107th Congress and a Senate leadership dinner. The official Senate chinaware was inventoried and used at 31 receptions for distinguished guests, both foreign and domestic.
Publications and Exhibitions
Much of the office’s focus in 2002, was devoted to producing the five-hundred page catalogue entitled U.S. Senate Fine Art Collection, which will provide previously unpublished information on the 160 paintings and sculptures in the U.S. Senate. Each work of art is illustrated with a full-page color photograph, accompanied by an essay and secondary images that place the object in historical and aesthetic context. The publication features an introductory essay by art historian and principal author William Kloss to provide a comparative perspective on the collection. The book is the definitive new resource on the fine art in the United States Senate. Staff worked with the Government Printing Office on all aspects of the design and proofing of the publication. A printer has been selected and delivery of the publication is expected in the summer of 2003.
Several brochures were reprinted, including: The United States Congress & Capitol: A Walking Tour Handbook, volumes I and II; The Senate Vestibule; and The President’s Room. In addition, the office published a new brochure, The Republican Leadership Suite.
The office deinstalled I Do Solemnly Swear, an exhibition of presidential inauguration images and a photographic diary of Inauguration Day 2001, and reinstalled the exhibition The United States Capitol: Photographs by Fred J. Maroon. The first phase of the exhibition Constantino Brumidi: Artist of the Capitol was installed under the west stairwell of the Brumidi Corridors, on the first floor of the Senate wing. The second phase of the exhibit will be completed in 2003.
Policies and Procedures
The office undertook a major initiative to create a strategic plan, and started by reorganizing and prioritizing office objectives and developing a mission statement.
Progress continued on preparation of a Collections Management Policy to be approved by the Commission on Art. The introductory section of the policy was reorganized to create a clear statement of the principles and goals that guide the Office of Senate Curator in the development and care of the Senate collections.
Collaborations, Educational Programs, And Events
As part of the seminar series conducted under the auspices of the Secretary of the Senate and the Sergeant at Arms, the Curator’s staff continued to deliver periodic addresses on various aspects of the Senate’s art and history. Staff conducted or assisted with several sessions, including “Congress & the Capitol: Tour Guide Series” and “The Vice Presidential Bust Collection.”
Curator staff participated as team members for the redesign of the Senate web site, which was launched in the fall of 2002. For the first time, visitors to the Senate web site can view images and catalogue information for all fine art in the Senate collection. Results of this increased visibility have already been seen, as the number of requests from the public for images of art in the Senate collection has nearly doubled.
Objectives for 2003
Conservation and preservation concerns remain a priority. Projects in 2003, will include the restoration of 15 Senate Chamber desks during the August and fall recess periods, conservation of the frame for Pocahontas; and the restoration of two historic overmantel mirrors.
Policy initiatives and strategic planning are a major endeavor. Additionally, the Collections Management Policy will be completed and submitted for peer review by museum professionals.
A comprehensive restructuring of the Senate collection database will be completed. Once an outside contractor has organized the files and reports to the specifications of the office, collections staff will complete the work of cleaning up data contained in fields and create all additional reports and layouts needed for current collections related projects. An additional goal is to evaluate the options for display of object images in the layouts used to view the Senate collection database and to establish image field standards.
Regarding the Senate Preservation Program, the Curator’s office will begin to establish the systems necessary for the office to meet its preservation responsibilities and to function as the Senate’s authority on preservation issues. The office will complete the first phase of the Senate Reception Room preservation project. In addition, the office will present to the Senate Commission on Art a proposal for the HABS documentation project, with emphasis on the establishment of CAD-related databases and documentation procedures. In the area of physical preservation, the office will continue to serve as the project coordinator for the Democratic leadership suite renovation and provide assistance with preservation issues related to Architect of the Capitol’s Senate projects. In conjunction with the Architect of the Capitol, the office will develop a system that will assure the involvement of the Curator’s staff in all Senate wing project planning. Such a plan will require the Curator’s office to review all Senate wing projects for their effect on historic resources.
Publications scheduled for 2003, include a brochure on the history of the Senate Democratic leadership suite; the Senate Appropriations Committee, Room S-219; and on 19th century Senate employee Isaac Bassett. The office will install informational panels for important Senate art work as part of its educational mandate with the paintings of George Washington at Princeton and The Recall of Columbus the first to be highlighted.
Internet exhibits scheduled include web sites on the political cartoons of Puck, a 19th century satirical magazine, the drawings of Lily Spandorf illustrating the filming of the motion picture Advise and Consent, the Senate Chamber desks, and information on current conservation/preservation projects.
As part of its emergency preparedness plan, the office will microfilm several important record series. Collections and history files, and the Isaac Bassett Papers, will be reproduced in microfilm or fiche, as well as digitized for both research and web publication.
3. JOINT OFFICE OF EDUCATION AND TRAINING
The Joint Office of Education and Training, a shared responsibility between the Secretary of the Senate and the Sergeant at Arms, provides employee training and development opportunities for 7,000 Senate staff both in Washington D.C. and in the states. There are four branches within the department:
* The technical training branch is responsible for providing technical training support for approved software packages used in either Washington or the state offices.
*The computer training staff provides instructor-led classes; one-on-one coaching sessions; specialized vendor provided training, computer based training; and informal training and support services.
* The professional training branch provides courses for all Senate staff in areas including: management and leadership development, human resources issues and staff benefits, legislative and staff information, new staff and intern information.
* The health promotion branch provides seminars, classes and screenings on health related and wellness issues. This branch also coordinates an annual Health Fair for all Senate employees and four blood drives each year.
In 2002, The Joint Office of Education and Training offered 565 classes with 5,566 Senate employees participating. The registration desk handled 13,248 requests for training and documentation.
Of the above total, in the technical training area 321 classes were held with a total attendance of 1,883 students. An additional 1,686 staff received coaching on various software packages and other computer related issues.
In the professional development area, 244 classes were held with a total attendance of 3,683 students. Individual managers and supervisors were also encouraged to request customized training for their offices in areas of need.
The Office of Education and Training made itself available to work with teams on issues related to team performance, communication or conflict resolution. During 2002, 50 requests for special training or team building were met. Professional development staff also traveled to State offices to conduct specialized training/team building during the year.
In health promotion, 896 Senate staff participated in Health Promotion activities throughout the year. These activities included: cancer screening, bone density screening and seminars
